Sponsored Project Guidelines

Guidelines for Sponsored Research and Contracted Projects
as of March 8, 2006

Pre-Award

The Office of Research and Community Collaboration

The primary mission of the Office of Research and Community Collaboration (ORCC) is to provide support for externally funded faculty research and community collaborative projects including grants, contracts, and cooperative arrangements. ORCC is responsible for Academic Affairs grants and contracts (initiated by or to be managed by faculty, academic departments, colleges and department or college institutes). ORCC is responsible for pre-award and post-award activities including assisting faculty in developing program ideas, identifying sources of funding, and following guidelines for policies related to submission and implementation. In addition, the Office is responsible for submitting proposals (including online submissions). This includes reviewing, editing and clearing all aspects of proposals before submission.

Any faculty member, chair or dean should contact ORCC to initiate discussions for external funding at 961-4778. Requests for assistance are addressed promptly.

The Office of Corporate/Foundation Relations

The Office of Corporate/Foundation Relations (OCFR) is responsible for grants submitted outside of Academic Affairs (i.e. Student Life) to foundations, corporations and government funding agencies. OCFR serves as the liaison between the corporate and private foundation communities and Marywood University. The Office coordinates university-approved approaches for funding from companies, organizations, associations, company-sponsored foundations, private foundations, and community foundations. Services include help with locating funding sources, maintaining a library of funding resources, conducting workshops to aid in the proposal development process and reviewing, editing and clearing all aspects of proposals before submission. When an Academic Affairs proposal is submitted to private or corporate funders, pre-award activities are the responsibility of the OCFR.

Sponsored Projects

The term "sponsored project" refers to a financial award (grant, contract, or cooperative agreement) from a sponsor to conduct specified research, training, or service projects. Sponsors can be state or federal agencies, foundations, nonprofit groups, or private enterprises such as business and industry. Sponsored projects may have any one of the following characteristics:

• Any of the following terms are mentioned: contract, cost sharing, line item budget restrictions, overhead negotiations, prior approval required on spending, return of unused funds to sponsor, intellectual property, or period of performance.

• The sponsor is entitled to receive some consideration, such as detailed technical reports, test results, or merchandise.

• Limitations exist on the use of project data, or details relating to patents, or copyrights are involved.

• There is a binding agreement between the University and another entity to provide economic benefit for compensation paid.

 

 Guidelines

The following guidelines refer to faculty initiated grants and contracts including cooperative agreements and collaborative agreements with other entities developed within Academic Affairs which use University facilities, equipment or require the support of University staff.

Faculty members are responsible and accountable to University officials for the proper conduct of the project, compliance with policies, and the use of funds in accordance with University and sponsor agency guidelines.

Pre-Award

Principal Investigators are obligated to inform their department chair and Dean of their intent to pursue a research grant or contract. The preparation of proposals is the responsibility of the principal investigator/project director. However, the Office of Research and Community Collaboration and/or the Office of Corporate Foundation Relations will provide proposal preparation assistance and guidance through the contract/research grant clearance procedure.

Clearance and Approvals

All proposals for grants, contracts and cooperative agreements must have University clearance.

After the first meeting takes place regarding a potential funding opportunity, a Preliminary Clearance Form is completed and sent to the department Chair and Dean indicating personnel involved, release time, space required and a cost estimate. Once the Chair and Dean have signed off (electronically), work can begin. This ensures the concept has administrative approval at the college level. 

Once the preliminary clearance has been obtained, all proposal concepts are presented for approval by the Proposal Clearing Council (PCC), which meets monthly, and is composed of the President, the Provost/VP, the Vice President of University Advancement, the Assistant Vice President for Development, the Corporate/Foundation Relations Director, the Assistant Vice President for Academic Affairs for Research and Community Collaboration and the Director of Sponsored Projects. 

The purpose of the PCC is to ensure at the outset that all proposals fit within the mission and vision of Marywood, and do not conflict with any other projects currently being undertaken. If a project, due to deadline constraints, should need approval prior to a scheduled meeting, ORCC and OCFR will electronically submit the information gathered at the first meeting for online approval by the PCC. 

Once the project receives a preliminary approval and the proposal is underway, ORCC or OCFR will generate a final electronic clearance form for the project and transmit it to the following persons: Project Director/Principal Investigator, Chair/supervisor, Dean (if appropriate), the Assistant to the Vice President for Technology (if appropriate), Fiscal Affairs Office, the Assistant Vice President for Research and Community Collaboration (if appropriate), and the appropriate Vice President. This additional step ensures that all interested parties are aware of, and in agreement with the project, as well as its finalized budget.

Special Reviews

When preparing a proposal or contemplating a contractual agreement, it is important to ensure compliance with University and sponsor requirements. The University's Institutional Review Board (IRB) must review activities calling for the use of human subjects. Human subject approvals must be obtained before the proposal is submitted for some sponsor agencies. Please read the guidelines carefully. In all cases, the University will not accept any contract agreement or award without IRB approval where required.

Sub-Contracting

Any intent to subcontract should be clearly identified in the original proposal. The proposal should include documents indicating the organization's willingness to participate in the project.

Budget Preparation

A faculty member who is the principal investigator or project director on a grant or contract is responsible for justifying the appropriateness of the direct and indirect costs budgeted. Budgets should be prepared in accordance with appropriate government regulations, sponsoring/contracting agency guidelines and Marywood University research and fiscal policies. The Office of Research and Community Collaboration will assist in developing the budget.

Cost Sharing/In-kind

The principal investigator should request all costs from the sponsoring agency. However, some sponsor programs will require cost sharing or cash match, and will require a financial accounting of the contribution. When applicable, equipment, space, materials and release time can be used for an in-kind contribution.

Cash match is the requirement of actual funds from the University for the project. If a cash match is required, prior arrangements and approval are mandated. Contact the ORCC before beginning the proposal.

Facilities and Administrative Rates (Indirect Cost Rates)

Indirect costs are those that cannot be easily identified with a specific project, but are expended to meet the requirements of the project. Indirect cost rates are expressed as a percentage of either total direct costs or salaries and wages as outlined below.

The Federal rate is negotiated between the University and the federal government. The current rate is available from the Office of Research and Community Collaboration. It is based on salary and wages.

Many State and some federal agencies have different rates for indirect costs. For example, the Department of Education usually allows 8% of total direct costs. Please follow the sponsor guidelines.

For grants and contracts with other entities without guidelines, 20% of total direct costs will be used.

Some sponsors will not pay indirect costs but may allow the University to use the negotiated rate as a cost-sharing component, if required. Please review the applicable guidelines.

If you are negotiating a fixed-price contract, include the 20% indirect cost rate in your calculations. As in-house budgets are set up for these contracts, the indirect rate will not be included.

Distribution of Indirect Cost Funds

Indirect costs from a funded project shall be shared at Marywood in the following manner:

University General Fund 40%

ORCC 30%

Initiating Department/Institute 20%

Initiating College 10% 

Indirect cost funds distributed to the Office of Research and Community Collaboration, Department or Institute shall be used to strengthen and support the research infrastructure in departments, institutes, and the University. These funds may accumulate across fiscal years, and are subject to review by the Office of Research and Community Collaboration.

Most contracts and many grants will be cost reimbursable and excesses will be returned to the sponsor. However, if the contract is a fixed-price contract, any remaining excess, after accounting for direct costs, will remain in the initiating department/institute for their use.

Direct Costs

Salaries

To determine salaries requested, indicate the percentage of effort and apply that effort to the annual salary. If effort is more than 20% during the academic year, replacement faculty costs must be included in the budget. The Chair and Dean must approve release time prior to the submission of the proposal. Individuals with a nine-month contract can work on the project during the summer months. Federal guidelines will have specific formulas for faculty compensation. Please review them carefully.

Fringe Benefits

Multiply the salary by the appropriate fringe benefit rate. The rate is available through the Office of Research and Community Collaboration.

Contracts

Contract Agreement Form

As a general rule, agencies require the original of each contract to be signed by an authorized university official. For faculty-contracted projects, this individual is the Assistant Vice President of Academic Affairs for Research and Community Collaboration. Principal investigators are not authorized to sign contracts on the behalf of the University.

Collaborative Projects

Collaborative/cooperative efforts with other institutions should be clearly delineated in the proposal/contract. A signed Memorandum of Understanding should be attached to the clearance form. This document should identify the responsibilities of each institution. The ORCC will assist in writing this memo.

Post-Award

When a proposal/contract has been approved for support, ORCC should be notified. The Office cannot administratively initiate the project without formal notification. It is the responsibility of ORCC to review the terms and conditions with the principal investigator/project director, and if acceptable, forward all documentation to Fiscal Affairs.

It is the primary responsibility of the ORCC to serve as the intermediary between the sponsor and the principal investigator for the purpose of negotiating changes in the project budget, modifications (reallocations, increase or decrease of funds), date extensions and other administrative activities.

The principal investigator/project director is responsible for the technical aspect of the project, and is responsible for performing the project within the constraints of the proposal/contact. In addition, the principal investigator/project director is responsible for the budget and authorizes any expenditure of funds.

Immediately after the award/contract is accepted, the principal investigator/project director, Director of Sponsored Projects and Post Award Grant Specialist will meet with the fiscal and human resources officers responsible for this project to review budgetary and reporting procedures.

The principal investigator/project director is responsible for the timely submission of all required reports.

The University, through Fiscal Affairs is responsible for making required fiscal reports and obtaining payment for sponsored projects. Fiscal Affairs and ORCC are responsible for ensuring compliance with sponsor regulations/guidelines.

Advisory Committee

The Assistant to the Vice President of Academic Affairs for Research and Community Collaboration works with the Faculty Research Advisory Committee in enhancing the conduct of sponsored projects at the University. The Faculty Research Advisory Committee is appointed by the Provost/Vice President for Academic Affairs and is chaired by the Assistant Vice President of Academic Affairs for Research and Community Collaboration. The committee will include at least one faculty member from each college.

 

Comments to:  The Office of Research and Community Collaboration: lafave@marywood.edu